Former Law Office of Vincent DiCarlo

As of September 1, 2008,Vincent DiCarlo
is no longer engaged in the private practice of law.
This site is no longer maintained, may no longer be accurate,
and is provided for historical purposes.  See disclaimer below.


How Not to Get Sued by an Investor

In this class, I cover practical ways that stockbrokers, investment advisors, and financial planners can reduce their risk of being sued by one of their clients. The topics include:
  1. The four most common ways to get sued and how to avoid them.
  2. How to create documentation that will discourage claims.
  3. How to structure your business to avoid unnecessary pitfalls.
An outline of the class

Order a videotape of the class

Back to Business Topics


DISCLAIMER: I have entered government service and, as of September 1, 2008, am no longer engaged in the private practice of law.  Therefore, this site is no longer being maintained,  may not be accurate, and should not be relied upon.  It is not now and was not ever intended as legal advice.  It is being provided for historical purposes, and for the benefit of those lawyers who are capable of independently verifying the information and judging the opinions in it, and then reaching their own conclusions.  You are strongly advised to consult qualified legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation, and may no longer be accurate or prudent in any case.  The opinions and statements at this site were solely my own.  They were not and are not those of, nor were they nor are they made on behalf of, any agency of government or anyone else.

Copyright © 1998-2008 Vincent DiCarlo